SL
Stephen B. Levy
HORNOR, TOWNSEND & KENT
TAMPA, FL 33609
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CRD#: 1004445
SL
Professional summary
Stephen Brian Levy is a registered financial advisor currently at HORNOR, TOWNSEND & KENT, LLC located in Tampa, Florida.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Stephen has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) INSURANCE BROKERAGE - DBA NAME: 1847FINANCIAL; INVESTMENT RELATED: YES; ADDRESS: 5201 WEST KENNEDY BLVD SUITE 640, TAMPA, FL 33609; NATURE OF OBA: INSURANCE SALES AND SERVICE LIFE INSURANCE; START DATE OF OBA: 8/1/2020; POSITION, TITLE, RELATIONSHIP: LIFE INSURANCE AGENT; APPROXIMATE NUMBER OF HOURS/MONTH: 50; APPROXIMATE NUMBER OF HOURS/MONTH: 50; DUTIES: INSURANCE SALES AND SERVICE OF LIFE INSURANCE PRODUCTS WITH PENN MUTUAL LIFE INSURANCE COMPANY. 2) RENTAL PROPERTY, NOT INVESTMENT RELATED, 473 HARBOR DR. N, INDIAN ROCKS BEACH, FL 33785, RENTAL PROPERTY, OWNER, START DATE: 02/05/2015, APPROXIMATE NUMBER OF HOURS/MONTH: 10, APPROXIMATE NUMBER OF HOURS/MONTH DEVOTED TO THIS ACTIVITY DURING SECURITIES TRADING HOURS: 10, DUTIES: COLLECT RENTAL INCOME.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Brian Levy's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Stephen Brian Levy's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 29, 2015 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 5201 West Kennedy Blvd Suite 640, Tampa, FL 33609RIA
BD
CRD#: 4031
TAMPA, FL
Current
December 22, 2014 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 5201 West Kennedy Blvd Suite 640, Tampa, FL 33609RIA
BD
CRD#: 4031
TAMPA, FL
Past
July 15, 2014 - December 11, 2014
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
FOSTER CITY, CA
Past
December 4, 2009 - April 5, 2010
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
FOSTER CITY, CA
Past
December 4, 2009 - April 5, 2010
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
FOSTER CITY, CA
Past
July 8, 1997 - December 11, 2014
NEW ENGLAND SECURITIES
RIA
CRD#: 615
FOSTER CITY, CA
Past
July 12, 1983 - December 11, 2014
NEW ENGLAND SECURITIES
BD
CRD#: 615
FOSTER CITY, CA
Past
February 9, 1982 - February 7, 1991
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
HORNOR, TOWNSEND & KENT, LLC
HORNOR, TOWNSEND & KENT, INC. | PENN MUTUAL EQUITY SERVICES, INC. | HORNOR, TOWNSEND & KENT, LLC
CRD#: 4031 / SEC#: 801-56151, 8-14715
RIA
Registered Investment Advisory firm - SEC (2/25/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(12/23/2014)
IAR
California(7/29/2015)
RR
Florida(12/18/2019)
RR
New Jersey(1/9/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
HORNOR, TOWNSEND & KENT, LLC
HORNOR, TOWNSEND & KENT, INC. | PENN MUTUAL EQUITY SERVICES, INC. | HORNOR, TOWNSEND & KENT, LLC
CRD#: 4031 / SEC#: 801-56151, 8-14715
RIA
Registered Investment Advisory firm - SEC (2/25/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
161 Washington Street Suite 1111, Conshohocken, PA 19428
Mailing Address
161 Washington Street Suite 1111, Conshohocken, PA 19428
Phone number
(215) 957-7300
Established
Delaware since 09/09/2024
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
442
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| 1847 FINANCIAL LLC | SHAREHOLDER | |
| GUNZENHAUSER, RADFORD MICHAEL | FINOP | 7253452 |
| HUCKERBY, KEITH GORDON | MANAGER | 2641591 |
| MASON, ANN-MARIE | CHIEF LEGAL OFFICER AND SECRETARY | 7145020 |
| MULLER, NIKI LEE | PRINCIPAL OPERATIONS OFFICER | 7364066 |
| NAGENGAST, HEATHER JILL | PRESIDENT, MANAGER | 5300554 |
| O'MALLEY, DAVID MICHAEL | CHAIRMAN AND MANAGER | 4468593 |
| ROBINSON, VICTORIA MARIE | CHIEF COMPLIANCE OFFICER, MANAGER | 4556827 |
| WYANT, JUSTIN | MANAGER | 8146157 |
Regulatory assets under management
| Total Number of Accounts | 31,522 |
| AUM (Assets Under Management) | $ 7,753,847,039 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
HORNOR, TOWNSEND & KENT, LLC
CRD#: 4031Tampa, FL 33609TRUST BUT VERIFY
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